The Securities and Exchange Commission said the changes would modernize the rules and balance concerns of shareholder proponents and other shareholders, while critics claimed the rule would help CEOs skirt corporate accountability.
Firms that put a strong emphasis on updating tech tools and providing an integrated experience will be able to recruit and retain the best advisors.
Succession is not something you figure out at the end of the journey; it is never too early to have a plan as it is an essential part of client service.
The SEC settled charges against Milton Dosal Jr., arguing that he raised nearly $100,000 from about 41 investors claiming he could trade stocks on their behalf despite not being a registered broker.
Commonwealth shows off its new logo and new website design.
Any change in the fiscal climate from this being an election year should not distract you or your clients from long-term financial planning goals.
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Sep 21, 2020
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A Morningstar panel also discussed the firm's concerns over the Labor Department's proposed rules on fiduciary exemptions, stressing the importance of clarity in SEC and DOL enforcement.
There's an important difference between 'covering' and 'belonging.'
